Every Form 4 that Axsome Therapeut (AXSM) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow AXSM and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full AXSM filings page.
Axsome Therapeutics, Inc. (AXSM) reported that Chief Operating Officer Mark L. Jacobson exercised stock options for 10,000 shares of common stock on September 3, 2026 at an exercise price of $12.95 per share, then sold 10,000 shares of common stock the same day at a weighted average price of $208.65 per share. The options exercised had been held for about seven years and were exercised before their March 19, 2029 expiration. Jacobson continues to hold 104,954 stock options after the transaction, and the transactions were carried out under a pre-approved Rule 10b5-1 trading plan, with sale prices ranging between $206.41 and $210.34.
Axsome Therapeutics, Inc. CEO and 10% owner Herriot Tabuteau exercised expiring stock options on August 5–6, 2026 to acquire 49,664 common shares, then sold an equal number in open‑market trades at weighted average prices of $212.0100 and $213.9500 per share. The trades were executed under a pre‑approved Rule 10b5‑1 plan that is now completed. Tabuteau remains the indirect beneficial owner of 7,344,500 shares held through an entity over which he has voting and dispositive power.
Axsome Therapeutics CEO Herriot Tabuteau exercised stock options and sold the resulting shares in a pre-planned transaction. He exercised 49,666 stock options at a strike price of $4.95 per share and received an equal number of common shares.
On the same date, he sold 49,666 common shares in the open market at a weighted average price of $240.25 per share, with individual sale prices ranging from $237.64 to $244.71, under a pre-approved Rule 10b5-1 trading plan. Following these transactions, he holds 7,229 common shares directly and 7,344,500 shares indirectly through an entity over which he has voting and dispositive power. The filing notes the option exercise was necessary because the options were approaching their 10-year expiration date, and no derivative options from this grant remain outstanding.
Axsome Therapeutics director Roger Jeffs sold 572 shares of common stock in two open-market transactions at prices of $246.18 and $249.12 per share. The sales were executed under a pre-approved Rule 10b5-1 trading plan and to cover taxes on the settlement of previously granted RSUs. After these transactions, he directly holds 58,367 shares.
Axsome Therapeutics director Roger Jeffs reported a routine equity compensation event. On June 8, 2026, he exercised 1,429 restricted stock units, which converted into 1,429 shares of common stock on a one-for-one basis. These RSUs were granted on June 6, 2025 and vested after one year. Following the conversion, Jeffs directly holds 58,939 shares of Axsome common stock, and no shares were reported as sold in this filing.
Axsome Therapeutics director Mark E. Saad reported routine equity compensation activity. On June 8, 2026, he exercised 1,429 restricted stock units (RSUs), which converted into 1,429 shares of common stock at a stated price of $0.0000 per share.
These RSUs were originally granted on June 6, 2025 and fully vested on their one-year anniversary. Following the conversion, Saad directly holds 11,431 shares of Axsome common stock. He also indirectly holds 300 shares as custodian for his children's UTMA accounts.
Axsome Therapeutics director Susan Mahony reported RSU vesting and related share sales. On June 8, 2026, 1,429 restricted stock units converted into 1,429 shares of common stock, reflecting a compensation-related equity award granted on June 6, 2025 that fully vested after one year.
Subsequently, she sold 300 shares on June 9, 2026 at $237.21 per share and 300 shares on June 10, 2026 at $246.18 per share. Footnotes state these transactions were executed under a pre-approved Rule 10b5-1 trading plan and were made to cover taxes associated with the RSU settlement. Following the transactions, she directly holds 829 shares of Axsome Therapeutics common stock.
Axsome Therapeutics director Mark Coleman reported routine equity compensation activity and a small tax-related share sale. On June 8, 2026, 1,429 restricted stock units vested and converted into common stock on a one-for-one basis. On June 10, 2026, he sold 643 common shares in open-market transactions at a weighted average price of $249.00 per share to cover taxes associated with the RSU settlement, under a pre-approved Rule 10b5-1 trading plan that has now been completed. After these transactions, Coleman holds 30,389 common shares directly and 403,856 common shares indirectly through an entity over which he has voting and dispositive power.
Coleman Mark reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics director Mark Coleman received a grant of 1,721 restricted stock units. Each RSU represents a contingent right to receive one share of Axsome common stock. The award vests in full on the one-year anniversary of the grant date, after which the underlying common shares become deliverable, increasing his equity-based compensation stake in the company.
Mahony Susan reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. director Susan Mahony received a grant of 1,721 restricted stock units as equity compensation. Each RSU represents a right to receive one share of Axsome common stock at no cash cost. The RSUs vest in full on the one-year anniversary of the grant date, aligning her compensation with future company performance. After this award, she holds 1,721 RSUs directly.
Axsome Therapeutics, Inc. Chief Executive Officer Herriot Tabuteau exercised stock options that were nearing their 10-year expiration and sold the resulting 49,670 shares of common stock in open-market transactions at a weighted average price of $241.01 per share under a pre-approved Rule 10b5-1 plan. After these transactions, he holds 7,229 shares directly and 7,344,500 shares indirectly through an entity over which he has voting and dispositive power.
Axsome Therapeutics, Inc.’s Chief Financial Officer Nick Pizzie reported an option exercise paired with an open-market sale of common stock. He exercised stock options for 33,000 shares of common stock at $3.50 per share, from options that had been held for over eight years and were approaching their 10-year expiration.
The same 33,000 shares were then sold in open-market transactions at a weighted average price of $240.09 per share, under a pre-approved Rule 10b5-1 trading plan that has now been completed. Following these transactions, Pizzie directly owns 42,867 shares of Axsome common stock, which includes prior purchases under the company’s Employee Stock Purchase Plan, and indirectly holds 488 additional shares as custodian for his children’s UTMA accounts.
Saad Mark E reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. director Mark E. Saad received a grant of 1,721 restricted stock units on June 5, 2026. Each RSU represents a contingent right to receive one share of common stock. The RSUs vest in full on the one-year anniversary of the grant date.
Axsome Therapeutics director Roger Jeffs reported a stock-based compensation grant. He received 1,721 restricted stock units, each representing a contingent right to receive one share of Axsome common stock, at a price of $0.00 per unit.
The RSUs vest in full on the one-year anniversary of the grant date. Following this grant, Jeffs directly holds 1,721 RSUs, which will convert into the same number of common shares if and when they vest and settle.
Axsome Therapeutics, Inc. director Mark Coleman reported open-market sales of 17,537 shares of common stock over three trading days. He sold 6,000 shares on May 29 at a weighted average price of $233.46, 6,000 shares on June 1 at $230.30, and 5,537 shares on June 2 at $223.39 per share.
According to the filing, these transactions involved underlying shares from previously exercised stock options and were executed under a pre-approved Rule 10b5-1 trading plan. After these sales, Coleman holds 29,603 shares directly and 403,856 shares indirectly through an entity for which he has voting and dispositive power.
Axsome Therapeutics, Inc. Chief Operating Officer Mark L. Jacobson reported an exercise-and-sell transaction in company stock. He exercised stock options to acquire 4,750 shares of common stock at $12.95 per share, then sold the same 4,750 shares in open-market transactions at weighted average prices of about $227.94 and $228.18.
The footnotes state these options had been held for 7 years and were exercised before their 10-year expiration, and that the sales were made under a pre-approved Rule 10b5-1 plan, which has now been completed. Following the sales, he reports no directly held common shares but continues to hold 114,954 stock options expiring on March 19, 2029.
Jacobson Mark L. reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. reported that Chief Operating Officer Mark L. Jacobson received a grant of 8,669 Performance Stock Units (PSUs). Each PSU represents a contingent right to receive one share of Axsome common stock.
The PSUs will vest only if specified sales and commercial launch milestones are achieved and if Jacobson remains in service through each vesting date. Following this grant, he holds 8,669 PSUs directly as part of his equity-based compensation.
TABUTEAU HERRIOT reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. disclosed that Chief Executive Officer Herriot Tabuteau received a grant of 24,081 Performance Stock Units (PSUs) tied to the company’s common stock. Each PSU represents a contingent right to receive one share of common stock if specific sales and commercial launch milestones are achieved.
The PSUs will vest only upon meeting these milestones and require the CEO’s continued service on each vesting date. Following this grant, the reported holding for this PSU award is 24,081 units, reflecting a compensation-related equity incentive rather than an open-market share purchase or sale.
Axsome Therapeutics’ Chief Commercial Officer Ari Maizel reported an exercise-and-sell transaction involving 7,500 shares of common stock. He exercised stock options to acquire 7,500 shares at $70.73 per share, then sold the same 7,500 shares in open-market trades at a weighted average price of $182.42 per share.
The filing notes these sales were made under a pre-approved Rule 10b5-1 trading plan, indicating they were pre-scheduled rather than timed discretionarily. Following the transactions, Maizel reported no directly held common shares and 23,710 stock options (right to buy) remaining outstanding.
Maizel Ari reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. reported that Chief Commercial Officer Ari Maizel received a grant of 7,224 Performance Stock Units (PSUs). Each PSU represents a contingent right to one share of common stock.
The PSUs vest only if specified sales and commercial launch milestones are achieved and if Maizel remains in service on each vesting date, making this a performance-based, at-risk equity award rather than an immediate share issuance.
Pizzie Nick reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. reported that its Chief Financial Officer, Nick Pizzie, received a grant of 8,188 Performance Stock Units (PSUs). Each PSU represents a contingent right to receive one share of Axsome common stock.
The PSUs will vest only if certain sales and commercial launch milestones are achieved and if Pizzie continues in service on each vesting date. Following this award, he holds 8,188 PSUs tied to Axsome common stock.
Murdock Hunter R. reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. reported that its General Counsel, Hunter R. Murdock, received a grant of 7,224 Performance Stock Units (PSUs). Each PSU represents a contingent right to receive one share of Axsome common stock. The PSUs will vest only if specified sales and commercial launch milestones are achieved and if the executive continues in service through each vesting date. Following this award, Murdock holds 7,224 PSUs directly.
TABUTEAU HERRIOT reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. reported that Chief Executive Officer Herriot Tabuteau received a grant of 54,623 restricted stock units. Each RSU represents a contingent right to receive one share of Axsome common stock.
According to the award terms, 25% of the RSUs vest on the one-year anniversary of the grant date, with the remaining units vesting in three substantially equal annual installments so that all RSUs are fully vested on February 26, 2030. Vested shares will be delivered to Tabuteau upon the earlier of a qualifying change in control of Axsome, his separation of service (including certain terminations, death, or disability), or seven years from the grant date.
Pizzie Nick reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. reported that its Chief Financial Officer, Nick Pizzie, received a grant of 18,570 Restricted Stock Units (RSUs) on February 26, 2026. Each RSU represents a contingent right to receive one share of Axsome common stock.
According to the award terms, 25% of the RSUs vest on the one-year anniversary of the grant date, with the remaining units vesting in three substantially equal annual installments so that all RSUs are fully vested by February 26, 2030. Vested shares will be delivered upon the earlier of a qualifying change in control, the CFO’s separation of service under specified conditions, or seven years from the grant date.
Murdock Hunter R. reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics reported that its General Counsel, Hunter R. Murdock, received a grant of 16,385 restricted stock units (RSUs) of company common stock. Each RSU represents a right to receive one share at a future date.
According to the award terms, 25% of the RSUs will vest on the one-year anniversary of the grant date. The remaining units will vest in three substantially equal annual installments, so that all RSUs are fully vested by February 26, 2030. Vested shares will be delivered to Murdock upon the earlier of a qualifying change in control, his separation from the company (including termination, death, or total and permanent disability), or seven years from the grant date.
Maizel Ari reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics Chief Commercial Officer Ari Maizel received a grant of 16,385 restricted stock units (RSUs) of company common stock. Each RSU represents the right to receive one share in the future, subject to vesting and service conditions.
According to the award terms, 25% of the RSUs will vest on the one-year anniversary of the grant date, with the remaining RSUs vesting in three substantially equal annual installments so that the award is fully vested on February 26, 2030. Shares will be delivered to Maizel upon the earlier of a qualifying change in control, his separation of service under specified conditions, or seven years from the grant date.
Jacobson Mark L. reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics awarded Chief Operating Officer Mark L. Jacobson 19,663 restricted stock units (RSUs), each representing a contingent right to receive one share of common stock. This is an equity-based compensation grant, not an open-market share purchase or sale.
25% of the RSUs will vest on the one-year anniversary of the grant date. The remaining units will vest in three substantially equal annual installments so that all RSUs are fully vested by February 26, 2030. Vested shares will be delivered upon the earlier of a qualifying change in control, Jacobson’s separation of service (including certain terminations, death, or total and permanent disability), or seven years from the grant date.
Axsome Therapeutics director Mark Coleman reported an open‑market sale of 25,000 shares of common stock. The sale occurred on February 26, 2026 at a weighted average price of $161.11 per share, as part of a pre‑approved Rule 10b5‑1 trading plan that has now been completed.
The sold shares were underlying stock from previously exercised options. After this transaction, Coleman holds 47,140 Axsome shares directly. He is also deemed to beneficially own 403,856 additional shares indirectly through an entity over which he has voting and dispositive power.
Axsome Therapeutics, Inc. Chief Operating Officer Mark L. Jacobson reported option-related transactions in company stock. On February 26, 2026, he exercised stock options for 35,378 shares of common stock at an exercise price of $2.85 per share that were approaching their 10-year expiration.
He then sold the resulting 35,378 common shares in open-market transactions at a weighted average price of $161.88 per share, with individual sale prices ranging from $160.10 to $163.42. The filing states the sale was made under a pre-approved Rule 10b5-1 trading plan.
Axsome Therapeutics, Inc. director Mark Coleman reported exercising stock options and holding the resulting shares. On February 23, 2026, he exercised options covering 6,250 shares of common stock at $4.95 per share for cash, and kept the underlying shares rather than selling them. Following these transactions, he directly owned 72,140 shares of Axsome common stock and indirectly beneficially owned 403,856 shares held through an entity over which he has voting and dispositive power.
Axsome Therapeutics director Mark Coleman exercised stock options and increased his share exposure to the company. On February 20, 2026, he exercised 12,485 stock options at an exercise price of $4.95 per share for cash, receiving the same number of Axsome common shares, which he held rather than selling.
After the transactions, Coleman holds 65,890 shares of common stock directly and 13,971 stock options directly. He is also reported as the indirect beneficial owner of 403,856 common shares held by an entity over which he has voting and dispositive power.
Axsome Therapeutics director Mark Coleman reported an option exercise and related share holdings. On February 10, 2026, he exercised 5,193 stock options at an exercise price of $8.02 per share and held the underlying common stock rather than selling it. Following this transaction, he directly owned 53,405 shares of common stock. In addition, 403,856 shares of common stock are held indirectly through an entity over which he has voting and dispositive power, so he is deemed the indirect beneficial owner of those shares.
Axsome Therapeutics CEO Herriot Tabuteau reported an option exercise and share sale. On 02/02/2026, he exercised 32,410 stock options at $8.02 per share and acquired the same number of common shares. That same day, he sold 32,410 common shares at a weighted average price of $185.60 under a pre-approved Rule 10b5-1 plan that has now been completed.
After these transactions, Tabuteau directly holds 7,229 shares of Axsome common stock and is also deemed the indirect beneficial owner of 7,344,500 additional shares held by an entity over which he has voting and dispositive power.
Axsome Therapeutics Chief Financial Officer Nick Pizzie reported an option exercise and related share sale. On January 22, 2026, he exercised stock options for 12,000 shares of common stock at an exercise price of $3.5 per share that were originally granted in 2019 and were due to expire in 2028. The filing notes this exercise was made under a pre-approved 10b5-1 trading plan.
The same day, he sold 12,000 shares of Axsome common stock in open-market transactions at a weighted average sale price of $187.92 per share, with individual sale prices ranging from $185.09 to $191.12. After these transactions, he directly beneficially owns 42,588 shares of common stock and holds an additional 488 shares indirectly as custodian for his children's UTMA accounts, along with 105,000 stock options beneficially owned following the reported exercise.
Axsome Therapeutics Chief Commercial Officer Ari Maizel reports an option exercise and share sale. On January 21, 2026, he exercised a stock option for 7,500 shares of common stock at an exercise price of $70.73 per share. The same day, he sold 7,500 shares of common stock in open-market transactions at a weighted average price of $184.44 per share, fully disposing of the acquired shares.
The filing notes that these transactions were made under a pre-approved Rule 10b5-1 trading plan, which is designed to allow preset trading of shares. Following the option transaction, Maizel beneficially owns 31,210 stock options directly, with no common shares reported as directly owned after the sale.
Axsome Therapeutics insider activity shows CEO Herriot Tabuteau exercising stock options and selling the resulting shares under a pre-approved Rule 10b5-1 trading plan. On January 5, 2026, he exercised 78,703 options at $8.02 per share and sold 78,703 common shares at a weighted average price of $171.28. On January 6, 2026, he exercised 29,450 options at $8.02 and sold 29,450 shares at a weighted average price of $172.33. On January 7, 2026, he exercised 31,261 options at $8.02 and sold 31,261 shares at a weighted average price of $170.38. After these trades, he directly owns 7,229 common shares and is the indirect beneficial owner of 7,344,500 shares held by an entity over which he has voting and dispositive power.
Axsome Therapeutics (AXSM) disclosed insider transactions by its Chief Executive Officer, who is also a Director and 10% Owner. On November 3–5, 2025, the executive exercised stock options and sold the underlying shares pursuant to a pre‑approved Rule 10b5‑1 plan.
Exercises and related sales: on 11/03, 91,705 shares were acquired via option exercise at $8.02 and sold at a weighted average of $132.34 (range $124.16–$137.59). On 11/04, 50,459 shares were exercised at $8.02 and sold at a weighted average of $133.79 (range $131.50–$135.90). On 11/05, 21,775 shares were exercised at $8.02 and sold at a weighted average of $134.49 (range $131.60–$135.49). The filing notes the exercises were necessary due to approaching the options’ 10‑year expiration.
Following the reported transactions, the executive directly held 7,229 shares and indirectly held 7,344,500 shares through an entity over which he has voting and dispositive power.
Axsome Therapeutics, Inc. Chief Executive Officer and director Herriot Tabuteau exercised a series of stock options that were expiring and sold the resulting shares under a pre-approved 10b5-1 plan between 10/06/2025 and 10/08/2025. The filings show exercises of 45,384 option shares in total (19,220 on 10/06/2025, 13,390 on 10/07/2025, and 12,774 on 10/08/2025) at exercise prices around $118–$121 per option, resulting in reported open-market sale proceeds with weighted average sale prices of $120.17, $118.77, and $118.84 respectively. After these transactions, the reporting person directly owned 7,229 shares and indirectly held 7,344,500 shares through an entity where they have voting and dispositive power. The exercises were necessary because the options reached their 10‑year expiration and were executed under the 10b5-1 plan.
Mark L. Jacobson, Chief Operating Officer and director of Axsome Therapeutics (AXSM), reported option exercise and a subsequent sale on 09/22/2025. He exercised 10,000 stock options with an exercise price of $2.85 per share, acquiring 10,000 shares. Those shares were then sold in open market transactions at a weighted average price of $115.96 per share, leaving him with 0 shares beneficially owned following the transactions. The filing states the exercise was necessary because the options were reaching their 10-year expiration and that both the exercise and sale were made pursuant to a pre-approved Rule 10b5-1 plan which has now completed.
Mark L. Jacobson, Chief Operating Officer of Axsome Therapeutics, Inc. (AXSM), reported option exercises and open-market sales on 09/16/2025. He exercised two stock option grants: 25,000 shares at $4.95 (issued 03/15/2018) and 15,000 shares at $4.85 (issued 09/13/2018), generating 40,000 underlying shares. All 40,000 shares were subsequently sold in open-market transactions under a pre-approved 10b5-1 plan for weighted average prices of $116.19 and $114.23, resulting in no shares owned following the sales. The exercises were necessary due to the options approaching their 10-year expiration.
Axsome Therapeutics insider activity by Herriot Tabuteau: The reporting person, who is CEO, director and a 10% owner, executed option exercises on 09/12/2025, 09/15/2025 and 09/16/2025 to purchase in aggregate 62,880 shares at exercise prices of $118.96, $117.37 and $114.19 respectively, under options originally granted 05/27/2017 and exercisable through 05/27/2026. Those exercises were followed by open-market sales of the same underlying shares pursuant to a pre-approved 10b5-1 plan, with weighted-average sale prices ranging roughly $113.01 to $122.54. The filer reports indirect beneficial ownership of 7,344,500 shares through an entity for which he has voting and dispositive power.